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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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AS

Andrew Serzan

PROSPERITY CAPITAL ADVISORS
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 4537685
AS

Professional summary

Andrew Serzan, who also goes by Andrew P Serzan, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Red Bank, New Jersey and M HOLDINGS SECURITIES, INC. located in Red Bank, New Jersey.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Andrew has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Andrew P Serzan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Serzan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 9, 2023 - Present

PROSPERITY CAPITAL ADVISORS

Office #1: 331 Newman Springs Rd. Bldg. 1, Suite 107, Red Bank, NJ 07701
RIA
CRD#: 156480
Red Bank, NJ
Current

October 29, 2010 - Present

M HOLDINGS SECURITIES, INC.

Office #1: 331 Newman Springs Road, Bldg 1, Suite 107, Red Bank, NJ 07701
RIA
BD
CRD#: 43285
Red Bank, NJ
Past

January 13, 2022 - March 7, 2024

M HOLDINGS SECURITIES, INC.

RIA
CRD#: 43285
Cranford, NJ
Past

August 1, 2008 - November 1, 2010

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
CRANFORD, NJ
Past

July 10, 2002 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
CRANFORD, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187

RIA
Registered Investment Advisory firm - (3/22/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(11/9/2012)
RR
California
(11/15/2011)
RR
Colorado
(10/29/2010)
RR
Connecticut
(10/29/2010)
RR
Florida
(10/29/2010)
RR
Georgia
(10/29/2010)
RR
Illinois
(7/15/2021)
RR
Indiana
(6/6/2022)
RR
Kansas
(6/16/2022)
RR
Kentucky
(10/29/2010)
RR
Maryland
(10/29/2010)
RR
Massachusetts
(10/29/2010)
RR
Mississippi
(8/15/2024)
RR
Missouri
(4/7/2022)
RR
New Jersey
(10/29/2010)
IAR
New Jersey
(11/9/2023)
RR
New York
(10/29/2010)
RR
North Carolina
(7/8/2025)
RR
Pennsylvania
(10/29/2010)
RR
South Carolina
(10/29/2010)
RR
South Dakota
(2/13/2023)
RR
Tennessee
(4/17/2024)
RR
Texas
(10/21/2025)
RR
Virginia
(10/29/2010)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/16/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/8/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/9/2002
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187

RIA
Registered Investment Advisory firm - (3/22/2011 Approved)
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Contact information

Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202

SEC notice filing (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PCA PART 2A 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts14,823
AUM (Assets Under Management)$ 3,684,966,200

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PROSPERITY CAPITAL ADVISORS

CRD#: 156480Red Bank, NJ 07701

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